Analyst, Compliance

The Carlyle Group; Greater London; On-site; GBP 45,000 - 65,000; Full time

Job summary

The Carlyle Group in London is seeking an Analyst to support the UK regulatory compliance program across monitoring, records, and board materials. You will ensure documentation of our policies and procedures and assist in regulatory filings and audits.

The role requires strong organization, detail orientation, and proficiency with technology, including AI to improve efficiency. A Bachelor's degree and 2–4 years in a similar role are preferred.

Qualifications

• Bachelor's degree required, preferably in a relevant field.
• Minimum 2-4 years in compliance or a professional support role in asset management or related firms.
• Knowledge of UK regulation and FCA rules desirable.
• Strong analytical skills and excellent attention to detail.

Responsibilities

• Support UK regulatory compliance program for the business, entities, staff and clients.
• Update and maintain quarterly monitoring plans for regulated entities and registers.
• Carry out periodic compliance checks and prepare reports on testing results.
• Assist with materials for board meetings, regulatory requests and audits.
• Maintain records of marketing material approvals and staff certifications.
• Coordinate compliance calendar and training submissions.

Skills

Regulatory knowledge

Attention to detail

Analytical skills

Communication skills

AI proficiency

Education

Bachelor's Degree

Tools

AI tools

Job description

Position Summary

To support Carlyle's London-based Compliance team across a range of areas required for the administration of our regulatory compliance program.

• The Analyst will be focused on updating and maintaining our books and records to ensure that our regulatory compliance implementation and monitoring is fully documented in accordance with our policies and procedures.
• The Analyst will assist in preparing materials for board meetings, regulatory requests, internal / external audit and compliance oversight committee meetings.
• The Analyst will perform day-to-day monitoring and surveillance in accordance with the monitoring plans and prepare regulatory applications as needed.

The Analyst needs to be highly organised, detail-orientated, and proficient in the use of technology, including using AI to improve efficiency.

Primary Responsibilities

Support for the UK regulatory compliance program relating to the businesses, regulated entities, employees, and clients including:

• Assisting with updating and maintaining quarterly monitoring plans of our regulated entities;
• Maintain and update compliance registers, such as the breach registers, gifts and entertainment registers and complaints logs;
• Carry out periodic compliance checks in accordance with the monitoring plans;
• Prepare reports on compliance testing results and identification of exceptions for our Global Credit Platform;
• Assist in preparing materials and management information, as applicable, for board meetings, regulatory requests, internal / external audit and compliance oversight committee meetings;
• Administrative support on maintenance and updates of restricted lists and insider lists;
• Manage compliance calendar;
• Assist with marketing approvals
• Produce regulatory filings and other periodic obligations, through FCA RegData and Connect;
• Liaison with staff on completion of compliance certifications and training;
• Process and maintain records of marketing material approvals and distribution;
• Process personal trading statements for employees;
• Assist with the annual reviews of staff under SMCR;
• Assist with the expert network approval process for the EMEA region;
• Maintain books and records including staff compliance-related files;
• Support ad hoc compliance projects; and
• Fulfil other duties as assigned.

Requirements

Education & Certificates

• Bachelor's Degree.

Professional Experience

• Minimum 2-4 years of experience in a compliance or other professional support role at a private equity fund, hedge fund or other asset management firm, investment bank or regulatory consultancy;
• Knowledge of UK regulation and/or compliance requirements desirable, including FCA rules and guidance.
• Strong analytical skills with excellent attention to detail;
• Very well organised;
• Highly proficient in the use of technology;
• Excellent communication skills - both written and oral; and
• Highly motivated and intelligent.
• Proficient in the use of AI and related technologies